13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-01, with 6,606 holding rows worth $283,306,967,000.
- Accession
- 0000072971-17-000235
- Filer
- CIK 72971
- Filed
- 2017-02-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 19,945 entries on the cover page, a total value of $283,306,967,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $283,306,967,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO CLEARING SERVICES, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
- included managerRock Creek Group, LP028-13780
- included managerAnalytic Investors, LLC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerAnalytic Investors, LLC reporting on behalf of SEI INVESTMENTS CO
- included managerAnalytic Investors, LLC reporting on behalf of 361 CAPITAL LLC
- included managerANALYTIC INVESTORS, LLC028-04895
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 7,841 | $33,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,052 | $33,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 2,810 | $33,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 7,000 | $33,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,200 | $33,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 2,387 | $33,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 38,000 | $33,000 | thousands by filing date | principal |
| NIKE,Inc. Class B | 654106103 | COM | 61,600 | $32,000 | thousands by filing date | call |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 50,400 | $32,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 17,000 | $32,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 31,500 | $31,000 | thousands by filing date | call |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 50,000 | $31,000 | thousands by filing date | call |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 959 | $31,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 3,830 | $31,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 41,000 | $31,000 | thousands by filing date | put |
| NOODLES & CO | 65540B105 | COM CL A | 7,509 | $31,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 35,000 | $31,000 | thousands by filing date | principal |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 14,801 | $31,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 15,294 | $31,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 30,002 | $31,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 32,000 | $31,000 | thousands by filing date | principal |
| VINCE HLDG CORP | 92719W108 | COM | 7,764 | $31,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 13,000 | $31,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 30,000 | $30,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 8,600 | $30,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 84,100 | $30,000 | thousands by filing date | put |
| REALNETWORKS INC | 75605L708 | COM | 6,259 | $30,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 1,000 | $30,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,204 | $30,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $30,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,200 | $30,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 50,000 | $29,000 | thousands by filing date | call |
| CANADIANNATLRYCOF | 136375102 | STOK | 75,600 | $29,000 | thousands by filing date | call |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 420 | $29,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 12,961 | $29,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,449 | $29,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 2,100 | $29,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 16,955 | $29,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 2,201 | $29,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 1,600 | $29,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 500,000 | $28,000 | thousands by filing date | call |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 3,128 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 785 | $28,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 5,534 | $28,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 10,000 | $28,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 8,520 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,041 | $28,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 812 | $27,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 2,196 | $27,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 1,116 | $27,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 20,000 | $27,000 | thousands by filing date | put |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 36,033 | $27,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 2,237 | $27,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,490 | $27,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 2,760 | $27,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 2,180 | $27,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 37,600 | $26,000 | thousands by filing date | call |
| AFLAC INC COM | 001055102 | Stock | 50,000 | $26,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 50,000 | $26,000 | thousands by filing date | put |
| BIOGEN INC COM | 09062X103 | Stock | 20,000 | $26,000 | thousands by filing date | call |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 80,000 | $26,000 | thousands by filing date | put |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 301 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 650 | $26,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 5,135 | $26,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 650 | $26,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 1,500 | $26,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,481 | $26,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 20,400 | $25,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,185 | $25,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 18,000 | $25,000 | thousands by filing date | call |
| UNITED GUARDIAN INC | 910571108 | COM | 1,600 | $25,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 9,550 | $25,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 606 | $25,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 4,113 | $25,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 25,000 | $25,000 | thousands by filing date | principal |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 25,000 | $25,000 | thousands by filing date | principal |
| SHILOH INDUSTRIES INC | 824543102 | COM | 3,551 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,000 | $25,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 8,510 | $25,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 1,218 | $25,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 392 | $25,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,700 | $25,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 23,900 | $24,000 | thousands by filing date | call |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 11,000 | $24,000 | thousands by filing date | put |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 7,500 | $24,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 875 | $24,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 3,000 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 1,646 | $24,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 1,800 | $24,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 25,000 | $24,000 | thousands by filing date | principal |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 197 | $23,000 | thousands by filing date | put |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 7,298 | $23,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 301,400 | $23,000 | thousands by filing date | call |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 4,305 | $23,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 20,800 | $23,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 8,428 | $23,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 1,889 | $23,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 25,000 | $23,000 | thousands by filing date | principal |
| FOGO DE CHAO INC | 344177100 | COM | 1,595 | $23,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 123,300 | $22,000 | thousands by filing date | put |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,100 | $22,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,500 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $22,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 10,000 | $22,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 58,006 | $22,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 77,300 | $22,000 | thousands by filing date | call |
| POLYMET MINING CORP | 731916102 | COM | 30,200 | $22,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 135,700 | $22,000 | thousands by filing date | call |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 3,100 | $22,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 500 | $22,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 17,900 | $21,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 36,300 | $21,000 | thousands by filing date | call |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 3,301 | $21,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,016 | $21,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,850 | $21,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 8,020 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $21,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 8,617 | $21,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 5,038 | $21,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 775 | $21,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 12,500 | $20,000 | thousands by filing date | call |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 33,200 | $20,000 | thousands by filing date | call |
| KRAFT HEINZ CO COM | 500754106 | Stock | 22,000 | $20,000 | thousands by filing date | call |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 6,350 | $20,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 980 | $20,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,220 | $20,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,356 | $20,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 4,375 | $20,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 9,000 | $20,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 18,123 | $20,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 22,783 | $20,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,500 | $20,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 73,775 | $20,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,509 | $20,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 515 | $20,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 15,026 | $20,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 11,079 | $20,000 | thousands by filing date | |
| LNKD .5 11/19 | 53578AAB4 | Bond 30/360P2 U | 20,000 | $20,000 | thousands by filing date | principal |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,647 | $20,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 45,000 | $19,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,514 | $19,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 137,500 | $19,000 | thousands by filing date | call |
| Abrdn Emerging Markets | 00301W105 | COM | 3,250 | $19,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,885 | $19,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 14,388 | $19,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 97,100 | $19,000 | thousands by filing date | put |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,001 | $19,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 3,000 | $19,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 20,000 | $19,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,000 | $19,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 827 | $19,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,444 | $19,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 5,427 | $19,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E509 | GAVEKA KNW EMG | 858 | $19,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 56,700 | $18,000 | thousands by filing date | put |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 59,100 | $18,000 | thousands by filing date | put |
| Vale Sa | 91912E204 | COM | 2,643 | $18,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 759 | $18,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,197 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 341 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 453 | $18,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 5,000 | $18,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 5,338 | $18,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 78,900 | $17,000 | thousands by filing date | put |
| HESS CORP | 42809H107 | COM | 70,200 | $17,000 | thousands by filing date | put |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,001 | $17,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,550 | $17,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 694 | $17,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,301 | $17,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 1,856 | $17,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 1,087 | $17,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,146 | $17,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 450 | $17,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 14,000 | $17,000 | thousands by filing date | principal |
| Emmis Communications Corp | 291525400 | COM | 5,000 | $17,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 1,000 | $17,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 10,500 | $17,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 2,325 | $16,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 459 | $16,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,893 | $16,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 5,149 | $16,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,401 | $16,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,063 | $16,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 460 | $16,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 14,000 | $16,000 | thousands by filing date | principal |
| ISRAMCO INC | 465141406 | COM | 129 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 324 | $16,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 14,710 | $16,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,001 | $16,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 1,050 | $16,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 146 | $15,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 607 | $15,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 57,600 | $15,000 | thousands by filing date | put |
| TENNECO INC | 880349105 | COM | 18,800 | $15,000 | thousands by filing date | put |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,100 | $15,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 222,900 | $15,000 | thousands by filing date | put |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,900 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 435 | $15,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 12,200 | $15,000 | thousands by filing date | call |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 53,500 | $15,000 | thousands by filing date | call |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 7,351 | $15,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $15,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 7,042 | $15,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 2,211 | $15,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 255 | $15,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,250 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 560 | $15,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,093 | $14,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 2,924 | $14,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 111,400 | $14,000 | thousands by filing date | call |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $14,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,801 | $14,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,840 | $14,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 222,300 | $14,000 | thousands by filing date | put |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 5,300 | $14,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 887 | $14,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 39,044 | $14,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,601 | $14,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 398 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 395 | $14,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,000 | $14,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 5,000 | $14,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 9,162 | $14,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 87,500 | $13,000 | thousands by filing date | call |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 250,000 | $13,000 | thousands by filing date | call |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 116 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 500 | $13,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 900 | $13,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 19,500 | $13,000 | thousands by filing date | put |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 650 | $13,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 1,734 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 729 | $13,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,002 | $13,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 3,366 | $13,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 675 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 548 | $13,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,781 | $13,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 600 | $13,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,390 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 455 | $13,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,500 | $13,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,292 | $13,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,935 | $13,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,000 | $13,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 230 | $13,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 13,000 | $13,000 | thousands by filing date | principal |
| NOKIA CORP | 654902204 | SPONSORED ADR | 50,000 | $12,000 | thousands by filing date | call |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 132 | $12,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,505 | $12,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,648 | $12,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 141,200 | $12,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 646 | $12,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 4,335 | $12,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 8,200 | $12,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $12,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 2,577 | $12,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 38,378 | $12,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 3,000 | $12,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 8,001 | $12,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 7,579 | $12,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 460 | $12,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 12,841 | $12,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 33,900 | $11,000 | thousands by filing date | call |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 125 | $11,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 41,400 | $11,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 2,000 | $11,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 2,000 | $11,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 25,000 | $11,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 3,501 | $11,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 100,800 | $11,000 | thousands by filing date | call |
| TRANSCAT INC | 893529107 | COM | 1,000 | $11,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 4,100 | $11,000 | thousands by filing date | call |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 400 | $11,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 515 | $11,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,700 | $11,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 25,000 | $11,000 | thousands by filing date | put |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 2,000 | $11,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,711 | $11,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 932 | $11,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 350 | $11,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 2,701 | $11,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 673 | $11,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,001 | $11,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 3,535 | $11,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 696 | $11,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,407 | $11,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 7,000 | $11,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 764 | $11,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 11,600 | $11,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 9,476 | $11,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 11,000 | $11,000 | thousands by filing date | principal |
| ASIA PAC FD INC | 044901106 | COM | 1,141 | $11,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| AMAYA INC | 02314M108 | COM | 750 | $11,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 1,099 | $11,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 10,000 | $11,000 | thousands by filing date | principal |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 151 | $11,000 | thousands by filing date | |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 1,453 | $11,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,699 | $10,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 97,600 | $10,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 25,000 | $10,000 | thousands by filing date | put |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 8,500 | $10,000 | thousands by filing date | call |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,515 | $10,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 14,600 | $10,000 | thousands by filing date | call |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 85,114 | $10,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 3,100 | $10,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 100 | $10,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,500 | $10,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,320 | $10,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,000 | $10,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 13,000 | $10,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 10,000 | $10,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $10,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 11,830 | $10,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 11,000 | $10,000 | thousands by filing date | principal |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,504 | $10,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 1,000 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 550 | $10,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 500 | $10,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $10,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,200 | $10,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ZAFGEN INC | 98885E103 | COM | 3,131 | $10,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 679 | $10,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 583 | $10,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 10,000 | $10,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| Danaher Corporation | 235851102 | COM | 20,300 | $9,000 | thousands by filing date | put |
| B2GOLD CORP COM | 11777Q209 | Stock | 4,000 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 150 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,147 | $9,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 301 | $9,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,351 | $9,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,451 | $9,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,301 | $9,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 4,000 | $9,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 86 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 352 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 634 | $9,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 405 | $9,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 3,000 | $9,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 2,069 | $9,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT | 74347W254 | CEF | 1,000 | $9,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 10,500 | $9,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 9,000 | $9,000 | thousands by filing date | principal |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 265 | $9,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,195 | $8,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 3,342 | $8,000 | thousands by filing date | put |
| ALLSTATE CORP COM | 020002101 | Stock | 50,000 | $8,000 | thousands by filing date | put |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 1,500 | $8,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 333 | $8,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 5,998 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 115 | $8,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 501 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 100 | $8,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 1,500 | $8,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 3,458 | $8,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 78,700 | $8,000 | thousands by filing date | call |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 164 | $8,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 33,600 | $8,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 13,800 | $8,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 1,210 | $8,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 8,000 | $8,000 | thousands by filing date | principal |
| GOLDFIELD CORP | 381370105 | COM | 1,580 | $8,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,000 | $8,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 74 | $8,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 850 | $8,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 344 | $8,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 1,039 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 380 | $8,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 12,164 | $8,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 5,610 | $8,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 263 | $8,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 3,895 | $8,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 6,233 | $8,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 79,800 | $7,000 | thousands by filing date | put |
| CAE INC COM | 124765108 | Stock | 502 | $7,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $7,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 258 | $7,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 27,628 | $7,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 27,300 | $7,000 | thousands by filing date | call |
| TRANSALTA CORP | 89346D107 | COM | 1,200 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 99 | $7,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,250 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 288 | $7,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 5,241 | $7,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 500 | $7,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 14,300 | $7,000 | thousands by filing date | put |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 743 | $7,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 156,000 | $7,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,258,489 | $7,000 | thousands by filing date | |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 3,000 | $7,000 | thousands by filing date | put |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,500 | $7,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 5,400 | $7,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 792 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $7,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,302 | $7,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 5,075 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 8,000 | $7,000 | thousands by filing date | principal |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 811 | $7,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 80,900 | $6,000 | thousands by filing date | put |
| UNITED RENTALS INC COM | 911363109 | Stock | 174,900 | $6,000 | thousands by filing date | put |
| EQT CORP COM | 26884L109 | Stock | 95,800 | $6,000 | thousands by filing date | call |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 100 | $6,000 | thousands by filing date | put |
| WESTERN UN CO COM | 959802109 | Stock | 95,800 | $6,000 | thousands by filing date | put |
| FULGENT GENETICS INC | 359664109 | COM | 500 | $6,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 1,178 | $6,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 266 | $6,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 102,700 | $6,000 | thousands by filing date | call |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,707 | $6,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 3,475 | $6,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,500 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 150 | $6,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $6,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 791 | $6,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 3,112 | $6,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 3,037 | $6,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 4,013 | $6,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 307 | $6,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,400 | $6,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 731 | $6,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 126 | $6,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 6,000 | $6,000 | thousands by filing date | principal |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 79 | $6,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 314 | $6,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 308 | $6,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 300 | $6,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 401 | $6,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 10,000 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 406 | $6,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,104 | $6,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 266 | $6,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 500 | $6,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 306 | $6,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 7,000 | $6,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 443 | $6,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 311 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B599 | HDG FTSE JAPAN | 215 | $6,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 20 | $5,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 449 | $5,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 50,000 | $5,000 | thousands by filing date | call |
| PACKAGING CORP AMER COM | 695156109 | Stock | 5,000 | $5,000 | thousands by filing date | put |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 1,127 | $5,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 443 | $5,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 211 | $5,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 400 | $5,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 761 | $5,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,000 | $5,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 363 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 96 | $5,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 550 | $5,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 22,800 | $5,000 | thousands by filing date | put |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,214 | $5,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 8,794 | $5,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,500 | $5,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $5,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 320 | $5,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 597 | $5,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 3,312 | $5,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,000 | $5,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,800 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 253 | $5,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 950 | $5,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,028 | $5,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| STEADYMED LTD | M84920103 | SHS | 1,900 | $5,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 2,792 | $5,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 5,974 | $5,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 13,400 | $4,000 | thousands by filing date | put |
| Merck & Co.,Inc. | 58933Y105 | COM | 27 | $4,000 | thousands by filing date | put |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 119 | $4,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 37,300 | $4,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 101,400 | $4,000 | thousands by filing date | call |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,000 | $4,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 7,059 | $4,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 221 | $4,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 239 | $4,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 127 | $4,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 25,000 | $4,000 | thousands by filing date | call |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 192 | $4,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 50,000 | $4,000 | thousands by filing date | put |
| OOMA INC | 683416101 | COM | 425 | $4,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $4,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 4,720 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 51 | $4,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 2,206 | $4,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 140 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 75 | $4,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 106 | $4,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 5,100 | $4,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 783 | $4,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 1,812 | $4,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 7,047 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-17-000235 | this filing | 2017-02-01 | acceptance time not in the bulk data set |